| 15-02009 | 01/18/2018 | Claimant(s): Patricia Metz
Claimant Lawyers(s): Sandra D. Parker
Respondent(s): David Jarach, Morgan Stanley
Respondent Lawyers(s): Tracey L. Gerber
Arbitrator(s): Sandra J. Mullings, Linda J. Baer, Richard E. Castiglioni
Hearing Site: New York, NY
| | |
| 16-01059 | 10/13/2017 | Claimant(s): Charles Sabbio and Ann Sabbio
Claimant Lawyers(s): Anthony Varbero
Respondent(s): David Lerner Associates., Robert Cavanagh
Respondent Lawyers(s): Ruthann Granito
Arbitrator(s): Sandra J. Mullings, Cheryl Feldman, Elisse R. Stern
Hearing Site: New York, NY
|  | $205,497 |
| 15-03115 | 07/11/2017 | Claimant(s): Petersen Investments.
Claimant Lawyers(s): Steven E. Mellen
Respondent(s): Earle Roberts
Respondent Lawyers(s): Rupert V. Barry
Arbitrator(s): Sandra J. Mullings, Paul S. Biederman, Eila Matt
Hearing Site: New York, NY
| | $0 |
| 16-01553 | 07/03/2017 | Claimant(s): Matthew Gittins
Claimant Lawyers(s): Jack A. Gordon
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Pamela H. Roderick, Sandra J. Mullings, Amy Y. Moy
Hearing Site: New York, NY
| | |
| 16-03348 | 07/03/2017 | Claimant(s): Eric Hernandez
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark Knoll
Arbitrator(s): Sandra J. Mullings, Joan M. Traub, Joanne Basso Mack
Hearing Site: New York, NY
| | |
| 15-01096 | 08/25/2016 | Claimant(s): Camille Pisciotto
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Shelley Teitelbaum, Sandra J. Mullings, Noel B. Berman
Hearing Site: New York, NY
| | Expungement |
| 14-02759 | 12/09/2015 | Claimant(s): Charles Avery
Claimant Lawyers(s): Charles G. Avery
Respondent(s): Wells Fargo Advisors, Paolo Bagnato
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $225 |
| 14-00584 | 11/20/2015 | Claimant(s): Nico Phillips
Claimant Lawyers(s): Nico Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Thomas E. Duggan, Jack Friedman, Sandra J. Mullings
Hearing Site: New York, NY
| | $0 |
| 14-01522 | 01/06/2015 | Claimant(s): Edward Hom
Claimant Lawyers(s): Edward Hom
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $38 |
| 14-00048 | 11/06/2014 | Claimant(s): Robert Loftus
Claimant Lawyers(s): Robert E. Loftus
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
